Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
SHUM, LEE
Chinese Name of Relevant Individual
沈琍
HKMA Registration Number
AC0094
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jul 2006
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
First date of engagement
05 Jun 2008
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
04 Jul 2006
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
06 Jun 2008
Is an Executive Officer? (Yes / No)
No
Capacity
RELATIONSHIP MANAGER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
CITIBANK, N.A.
SFC CE number
AAP937
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Name of Registered Institution
CITICORP INTERNATIONAL LIMITED
SFC CE number
AAJ895
Business Address
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 06 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
Since 05 Jun 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITICORP INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 04 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 1: dealing in securities
Effective Period
02 May 2006 - 26 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HSBC PRIVATE BANK (SUISSE) SA
Regulated Activity
Type 4: advising on securities
Effective Period
02 May 2006 - 26 Jun 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Jul 2005 - 03 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Jul 2005 - 03 May 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
12 Jun 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
12 Jun 2003 - 06 Jul 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
SHUM, LEE
:
Chinese Name of Relevant Individual
沈琍
:
HKMA Registration Number
AC0094
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
CITIBANK, N.A.
Type 1: dealing in securities
04 Jul 2006
No
RELATIONSHIP MANAGER
CITIBANK, N.A.
Type 4: advising on securities
05 Jun 2008
No
RELATIONSHIP MANAGER
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
04 Jul 2006
No
RELATIONSHIP MANAGER
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
06 Jun 2008
No
RELATIONSHIP MANAGER
Name of Registered Institution
SFC CE number
Business Address
CITIBANK, N.A.
AAP937
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
CITICORP INTERNATIONAL LIMITED
AAJ895
50TH FLOOR, CHAMPION TOWER, 3 GARDEN ROAD, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC0094
CITICORP INTERNATIONAL LIMITED
Type 4: advising on securities
Since 06 Jun 2008
No
AC0094
CITIBANK, N.A.
Type 4: advising on securities
Since 05 Jun 2008
No
AC0094
CITIBANK, N.A.
Type 1: dealing in securities
Since 04 Jul 2006
No
AC0094
CITICORP INTERNATIONAL LIMITED
Type 1: dealing in securities
Since 04 Jul 2006
No
AC0094
HSBC PRIVATE BANK (SUISSE) SA
Type 1: dealing in securities
02 May 2006 - 26 Jun 2006
No
AC0094
HSBC PRIVATE BANK (SUISSE) SA
Type 4: advising on securities
02 May 2006 - 26 Jun 2006
No
AC0094
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Jul 2005 - 03 May 2006
No
AC0094
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Jul 2005 - 03 May 2006
No
AC0094
CITIBANK, N.A.
Type 1: dealing in securities
12 Jun 2003 - 06 Jul 2005
No
AC0094
CITIBANK, N.A.
Type 4: advising on securities
12 Jun 2003 - 06 Jul 2005
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.